Resume

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** ****** ******, ******, ************* 02170

617-***-**** ************@*****.***

SUMMARY

An experienced compliance analyst assistant manager with a focus on the

portfolios measurement of risk, Charles River conversion project, set up

new client accounts, SQL language writing and reviewing, Bloomberg and

portfolio market data reconciliation, client reporting, composing and

implementing controls and procedures.

EDUCATION

Suffolk University, Boston, September 2001

Bachelor of Business Administration, September 2001

Double Majors: Finance and Computer Information System; GPA: 3.20/4.00

Working towards CFA

EXPERIENCES

DEUTSCHE ASSET MANAGEMENT, BOSTON January 2010-

March 2010

Position: IRS Compliance Analyst Contractor, Equity and Fixed Income

. Responsible to prepare quarterly IRS compliance packages.

. Performed IRS testing for 90% qualifying income test (Section

851(b)(2)), 50% fund diversification test (Section 851(b)(3)(A)),

Section 817(h)(1) and other tax requirements.

. Identified IRS compliance issues and escalated the issues to the

compliance AVP in a timely manner.

. Reconciled the accounting data provide by custodians against with the

accounting data extracted from Charles River compliance system and

followed up issues with the custodians such as State Street Bank, JP

Morgan and Brown and Brothers Harriman.

STATE STREET BANK & TRUST COMPANY, HONG KONG November

2007- November 2009

Position: Senior Compliance Analyst, Equity and Fixed Income

. Responsible to provide exceptional client services and the clients

were from Korea, Singapore, Hong Kong and China.

. Monitored and reviewed pre and post trade activities.

. Performed investigation on exception items and prepared compliance

summary reports to clients. Responsible to follow up non-compliance

issues with portfolio managers until the issues are back to

compliance.

. Assisted to maintenance client issues log and handled client

enquiries until the issues are resolved.

. Assisted to maintenance employee performance log and reported to the

managers on monthly basis.

. Performed periodic compliance checking using Charles River compliance

system or by manual checking such as offline Excel or Macro program.

. Reconciled Bloomberg market data and portfolio data in Charles River

to ensure data integrity for the compliance daily operation.

. Handled 100% international funds

. Monitored different structure of international funds such as Unit

Trust Fund, Active Global Fixed Income Fund, Active Euro Fixed Income

Fund, High Yield Fund, Inflation-Linked Bond Fund, Global Sovereign /

Quasi-Sovereign Fund, Active US Fixed Income Fund, Derivatives Fund,

Foreign Currencies Fund, Global large-Cap Equities Fund, Balance

Fund, Money Market Fund, Tracker Fund and etc.

. Responsible to interpret investment guidelines and government

regulations. Prepared business specifications with all compliance

checking methodologies for the clients to sign-off.

. Amended and wrote some simple test rules coding on Charles River for

existing and new client's accounts that assigned by the managers.

. Provided 2nd level of review of all rules that are written on the

Charles River by the managers and perform the UAT (User Acceptance

Test) to reduce the risk of system failure.

. Checked with internal fund accountants in searching of accounts and

trading information. Checked with internal market data team in

searching of integrity of securities data that loaded into Charles

River.

. Participated in specialized projects such as Charles River

implementation project and Business Contingency Plan implementation

project.

. Covered various supervisory functions when necessary.

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44 Exeter Street, Quincy, Massachusetts 02170

617-***-**** ************@*****.***

BANK OF AMERICA / COLUMBIA MANAGEMENT, BOSTON April 2006

- November 2007

Position: Compliance Analyst, Equity and Fixed Income

. Responsible for the Columbia Management accounts.

. Monitored and reviewed pre and post trade activities.

. Handled 40% international funds and 60% domestic funds

. Monitored different structure of funds such as Columbia High Yield

Fund, Columbia International Balance Fund, Columbia California Inter

Muni Bond Fund, Corporate Bond Fund, Columbia Acorn Select Fund,

Columbia Small Cap Value Fund, Columbia Large Cap Index Fund, CMG Mid

Cap Value Fund, Money Market Fund and etc.

. Participated in specialized project such as Charles River

implementation project.

. Provided any relating exception details for escalation and further

investigation. Reported to senior compliance analyst any exception

details of investments noted from compliance reports.

. Reported to the portfolio managers for any exceptions and followed up

the issues until back to compliance.

. Responsible to interpret /review investment guidelines, prospectus,

U.S. government regulations and SAI.

. Monitored changes in the prospectus or SAI and confirmed that Charles

River has been appropriately updated.

. Participated in the research and prepared drafts of replies to

compliance related inquiries from business units.

. Prepared the Quarterly IRS compliance packages and reported to the

IRS. Familiarity with the Investment Company Act of 1940.

STATE STREET BANK & TRUST COMPANY, BOSTON May 2001 -

April 2006

Position: Senior Fund Accountant / Fund Accountant, Equity and Fixed

Income

. Client: Citigroup with 60% domestic funds and 40% international

funds.

. Monitored different structure of funds which are included High Yield

Bond Fund, Fund of Funds, Money Market Fund and etc.

. Calculated the daily expenses using Excel and posted the correct

amounts to MCH.

. Checked with the portfolio administrations to confirm all trade

activities and cash flows. Verified the trade blotters against trade

summary report to ensure all trades are posted correctly.

. Checked with Bloomberg for the corporate actions that were effective

on the date and calculated the correct amounts. Tied out the

calculation that posted in MCH by corporate action team.

. Responsible to post futures using DWS and calculated daily margin

using Excel.

. Performed Pre-NAV check / final price and assisted to provide pricing

navigator.

. Reported all NAVs to the client as well as NASDAQ in a timely manner.

. Monitored and provided 2nd level review of daily work of Fund

Accountants to ensure accurate timely calculation of Net Asset Value.

. Maintained monthly supporting schedules for all outstanding items, as

well as other records required for fund audits such as fund

segregation reports.

. Provided on the job training to new fund accountants and assisted new

fund accountants with attainment of understanding job

responsibilities.

SKILLS

. Proficient in Excel (Pivot tables, Vlookups, If statements, etc),

Word, Access, Bloomberg, Reuters, MCH, Charles River Development

compliance system, Portia compliance system, CM2 compliance

system, In~Sight reporting, Mystatestreet.com reporting.

. Analysis and review different type of securities, derivatives as

well as corporation actions such as T-bills, T-notes, CDs, CPs,

Repos, Time Deposits, MBSs, CMOs, ABSs, Muni bonds, Government

bonds, Government Agency bonds, Corp bonds, Common Stocks,

Preferred Stocks, Reits, Units, IRSs, IROs, CDOs, CDS, Forward

Contracts/ Spots, Futures, Options Put/Call, 144A securities,

Private Placements, Rights, Warrants, Exchange Offers and etc.

~ further information upon request ~

Contact this candidate